Question

Securities of which of the following issuers are federal covered? Bonds of an issuer whose common stock is listed on the NYSE Bonds of an issuer whose common stock is listed on the NYSE American LLC (formerly known as the American Stock Exchange) Stock listed on the Nasdaq Stock Market Registered investment company securities

Answer 1

All securities of an issuer whose common stock is listed on any national exchange, such as the NYSE (New York Stock Exchange) or the NYSE American LLC (formerly known as the American Stock Exchange), or the Nasdaq Stock Market are exempt from state registration, including any securities of the same issuer senior to such securities.

What are Stocks?

• A stock, usually referred to as equity, is a type of investment that denotes ownership in a portion of the issuing company.
• Shares, also known as units of stock, entitle its owners to a share of the company's assets and income in proportion to the number of shares they possess.
• Most individual investors' portfolios are built on stocks, which are mostly bought and sold on stock exchanges. Government standards designed to shield investors from dishonest tactics must be followed during stock trades.
• In order to raise money to run their operations, corporations issue stock, and the holder of that shares, known as a shareholder, may be entitled to some of the company's assets and earnings.

Based on the total market capitalization of its listed securities, the New York Stock Exchange (NYSE), a stock exchange in New York City, is the largest equity-based exchange in the world. All registered investment company securities are exempt from state registration.

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